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Enforcement
Singapore Police, Banks Step Up Scam Intervention Efforts
By Editors | 31/03/2022
In a four-day operation last week, the police and five banks intervened in 150 scam cases, which resulted in the arrests of 35 individuals.
Capital / Liquidity
RBNZ Satisfied with ANZ NZ Governance Improvements
By Editors | 31/03/2022
ANZ has “invested heavily” in its director attestation framework remediation uplifted its overall governance capabilities.
Enforcement
CSRC Revokes Licences of Two Investment Consulting Firms
By Editors | 31/03/2022
The two well-established securities investment consulting firms were found to have disseminated false or misleading information to investors.
AML / KYC
US Lawmakers Probe Credit Suisse Russia Business
By Editors | 30/03/2022
The lawmakers are concerned that Credit Suisse may be concealing information about sanctions evasion by Russian oligarchs.
Securities / Derivatives
TWSE Probes Foreign Securities Firms Over Research Reports
By Darien Choong | 29/03/2022
There have been rumours that foreign securities firms have been selling off stocks before they achieve the target prices specified in published research reports.
Enforcement
SFC Bans BNP Representative for Unauthorised Discretionary Trading
By Editors | 29/03/2022
The relationship manager asked clients to pre-sign blank instruction forms so he could place trades for their accounts without having to inform them in advance.
Enforcement
Singapore Jails Nominee Director for Facilitating Illicit Activities
By Editors | 29/03/2022
The director of corporate service provider 3E Accounting served as local resident director of four companies whose bank accounts were used to receive criminal proceeds.
Enforcement
CSRC Fines Securities Firm Over Client Records Management
By Editors | 29/03/2022
Shenwan Hongyuan Securities failed to appropriately manage its online investment advisory business on Ant Group’s wealth management app.
Enforcement
SEBI Probes Investment Banks Over Possible Insider Trades
By Editors | 27/03/2022
SEBI’s new AI-based surveillance systems have detected possible insider trades by related parties of investment bankers.
Enforcement
Tokyo Prosecutors Indict SMBC Nikko Securities, Five Others
By Editors | 24/03/2022
Prosecutors have filed charges against SMBC Nikko Securities and five others. The head of the firm’s equity division was also arrested.
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